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Pankaj Ghosh

Business Associate at Dhruv HR

Last Login: 24 May 2024

Job Views:  
678
Applications:  65
Recruiter Actions:  53

Posted in

Legal

Job Code

1305879

Head - Compliance & Legal - PMS & AIF - Investment Firm - LLB/CS

3 - 10 Years.Mumbai
Posted 9 months ago
Posted 9 months ago

Career role in one of India's best performing fund houses in their Compliance & legal department - Position reports to the Managing Director & Director Operations.

- Job opportunity for CS Rank holders with 3-7 years of experience.CA with Degree in Law will be a definite plus.

- A boutique Investment Firm & one of the best performing Portfolio Manager/AIF & offshore fund in the country. The firm is also looking at expanding in the international markets and current has an AUM of around $500

Please find the company introduction and job profile below :

- Company is a top performing boutique investment firm. They are a SEBI registered firm having a PMS, AIF and an FPI fund from Dubai International Financial Centre (DIFC).

Job Description :

- A full understanding of SEBI laws and regulations and ensuring compliance with those laws and regulations

- Keeping abreast with the latest regulatory changes and requirements related to SEBI PMS and AIF regulations

- Timely preparation and submission of reports with regulators and board of directors

- Ensuring compliance with all the regulatory laws and regulations applicable to the entities in the group.

- Understand laws and regulations of various international jurisdictions where the company may look at opening offices in the future

- Liaison with SEBI and other international regulatory authorities.

- Monitoring of AML / FATCA compliance and its reporting

- Liaising and coordinating with Regulator for PMS, AIF compliance and queries

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Posted By

user_img

Pankaj Ghosh

Business Associate at Dhruv HR

Last Login: 24 May 2024

Job Views:  
678
Applications:  65
Recruiter Actions:  53

Posted in

Legal

Job Code

1305879

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